Our Staff has compiled our research into a database of FINRA Broker Allegations.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Douglas Alan Macwright | 727009 | 4 | 09/25/2023 | Civil | Final | $0.00 | $0.00 | See Allegations |
| Ruben Cedrick Williams | 7423949 | 2 | 09/25/2023 | Civil | Final | $0.00 | $0.00 | See Allegations |
| James Charles Zelter | 1336776 | 1 | 08/17/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Marc Jeffrey Rowan | 1410799 | 3 | 08/17/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| David Patrick Grzan | 1353299 | 2 | 08/14/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Timothy Silas Prugh Overturf | 6422933 | 1 | 08/01/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Clarice Crystal Saw | 2633118 | 6 | 07/28/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Wesley Ragan Young | 2758754 | 3 | 07/28/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Schad Edward Brannon | 5577117 | 2 | 07/26/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| A K Roberson | 2298900 | 3 | 07/21/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |